Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined an overall of $4.75 million for offenses of numerous arrangements of the marketplace gain access to policies (guideline 15c3-5 of the Securities Exchange Act of 1934) and “associated exchange supervisory guidelines,” according to a … [Read more…]

The FCA Under the FCA, companies with at least 4 staff members are restricted from asking about a job candidate’s criminal history till after a conditional deal of work has been made to the candidate. In addition, companies are forbidden from describing criminal history in job posts, work applications, or any kind of questions throughout … [Read more…]